NextGen Independent Assessment template...reset NextGen expectations for 2020, and influence planning for post-2020 NextGen operations. The assessment first determined progress made

NextGen Independent Assessment and Recommendations

October 2014

MP 1 4 04 4 0

MIT RE P R O DU CT

Sponsor: The Federal Aviation Administration Dept. No.: F094

Project No.: 0214DL01-IF

Outcome No.: 1 PBWP Reference: 1-4.3.A.1-2; Titled “NextGen

Independent Assessment Recommendations”

©2014 The MITRE Corporation. All rights

reserved.

Approved for Public Release, Unlimited

Distribution (Case Number: 14-3495)

McLean, VA

Center for Advanced Aviation System Development

© 2014 The MITRE Corporation. All rights reserved.

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Executive Summary: NextGen Independent Assessment and Recommendations

FAA Request for NextGen Independent Assessment and Recommendations

The Next Generation Air Transportation System (NextGen) is a transformation of the nation’s Air Traffic

Management (ATM) system developed in response to the Vision 100—Century of Aviation

Reauthorization Act. While the Federal Aviation Administration (FAA) and aviation community have

made considerable strides toward this transformation, it is time to take stock of where NextGen is today,

and refine plans and expectations for further development. Consequently, the FAA directed The MITRE

Corporation’s Center for Advanced Aviation System Development (CAASD) to conduct an independent

assessment of NextGen and provide recommendations to achieve a realistic set of capabilities by 2020,

reset NextGen expectations for 2020, and influence planning for post-2020 NextGen operations. The

assessment first determined progress made to date toward achieving NextGen capabilities and

infrastructure as documented in the FAA’s “NextGen Mid-term Concept of Operations” and NextGen

Implementation Plan of 2009. Next, MITRE assessed what NextGen capabilities could reasonably and

realistically be implemented by 2020. Our assessment did not consider detailed cost information.

However, our recommendations include FAA cost-effectiveness as an objective. The recommendations

were developed using the results of the assessment and MITRE’s insights into the status of FAA and

aviation community activities toward NextGen and the needs and priorities of the FAA and the aviation

community. Achieving NextGen benefits will take many years, and the assessment and recommendations

are intended to inform the FAA and stakeholder community deliberations on needed actions. This report

summarizes the findings and documents the recommendations.

Summary of Findings and Recommendations

The FAA and the aviation community have made substantial progress toward achieving the NextGen

foundation since 2008, and National Airspace System (NAS) infrastructure modernization is well

underway. Most spending up to this point has been on infrastructure; most of the transformation and

foundational infrastructure will achieve an initial baseline by 2015, with data communications services

and others by 2020. We found that the FAA and the aviation community have made progress in delivering

enhanced operational capabilities and services for airports and metropolitan areas (e.g., more efficient

airport arrival, departure, and approach procedures) that are starting to provide benefits to many

stakeholders. However, these capabilities and services are not yet widely available and not all aircraft

operators have chosen to equip their aircraft with the necessary avionics to fully leverage them; thus the

benefits are not accruing uniformly across the community. Consequently, there are different perceptions

within the community about the amount of progress the FAA has made on NextGen implementation.

We found that there are many gaps between the FAA’s documented descriptions of NextGen and what

can reasonably be accomplished by 2020.

These expected gaps are due largely to three fundamental challenges:

1. Operational Transition: There is a need for more effective transition planning for maturing NextGen capabilities (including training on intended operational use and the development of

procedures and best practices for their use) synchronized with the user community. This is the

largest gap affecting operational use and delivery of benefits.

2. User Adoption: Aircraft owners and operators need to equip their aircraft with new avionics that provide aircraft capabilities needed for the planned NextGen operational capabilities and service

to be used effectively.


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3. Technical Maturity: Some concepts and technology are not mature enough to meet the complete NextGen vision outlined in 2008. These elements are not yet ready for implementation by 2020.

The evolution of the NAS will have to be scalable, affordable, and resilient to accommodate a wider

range of aircraft operations. The future operations include unmanned aircraft vehicles, changes in

domestic and international air traffic, more seamless global operations, higher efficiency and

predictability benefits expectations from current operators of the NAS, and more cost-effective service

delivery for the United States (U.S.) government and the aviation community.

Recommended actions either remedy the gaps or acknowledge the gaps and suggest adjustments to the

plans for the FAA, along with aviation stakeholders, to consider in developing an achievable plan for

moving forward with NextGen.

As a result, our recommendations reflect what is required to build a sustainable NAS for all current and

future types of operators within six strategic focus areas, for 2020 and beyond:

1. Deploy transformational and foundational systems.

The FAA has made substantial progress replacing highly constrained legacy infrastructure. The FAA must ensure to complete the transition to the new infrastructure.

Certain aspects of the transformational and foundational infrastructure that are not sufficiently mature (specifically, data communication using Aeronautical

Telecommunication Network Baseline 2 and surface data communication, future

aeronautical information management and common weather enhanced services, and

surface modeling) require additional standards or concept development prior to

committing resources toward implementation.

For non-safety-critical operational services, the recommendations include a transition to the use of agile development and acquisition approaches to improve operational transition

and allow less mature capabilities to be matured through field engagement.

2. Maximize operational use of available aircraft and ground capabilities.

The largest gap affecting operational use and delivery of benefits is the operational transition of NextGen capabilities. Focus is required to achieve operational use, including

for the priority NextGen Advisory Committee recommendations.

Airspace redesign and procedural enhancements should be implemented to address most known operational and efficiency needs for Metroplex and priority airports. This includes

completing existing Metroplex activities, expanding Metroplex activities to the most

beneficial additional locations, integrating metering operations as part of these Metroplex

improvements, and implementing mature multirunway procedures at priority airports.

At the current pace of equipage, the aviation community will not meet the 2020 mandate for Automatic Dependent Surveillance-Broadcast. The FAA must clearly communicate

consequences of mandate non-compliance and work with the operator community to

increase equipage.

3. Procedurally permit initial operations of new entrants (unmanned aircraft systems [UAS] and Commercial Space Vehicles [CSVs]) leveraging existing policy, and introduce new rules

to enable their evolving operations.

The transition path and plan for integration in the NAS for CSVs and UAS needs community buy-in.

By 2018, the FAA and stakeholders should reach agreement on a detailed roadmap for defining the policy, equipage standards, operational concepts, and automation


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requirements that can be achieved through 2025 and beyond to enable routine integration

of UAS operations.

Procedural solutions should be developed with early adopters to address both operational transition and user adoption gaps.

4. Eliminate surplus capabilities and services to promote transition to new NextGen services and reduce costs.

The key gaps are operational transition, specifically efforts to discontinue legacy services as new NextGen services come on line, and concept maturity for the future work

environment. The planned facility streamlining (i.e., consolidation and realignment)

process should be executed using available funds as soon as possible, as should additional

facility realignment authority beyond that provided by Section 804 of the FAA

Modernization and Reform Act of 2012. In addition, remote operations for selected tower

services should be implemented to further reduce FAA operating costs.

Future plans for automation infrastructure replacement and technology refresh should be aligned with development and demonstrations of NextGen service delivery in the future

environment.

5. Integrate NAS-wide operations and performance management to deliver expected end-to-end service.

Current NextGen efforts will result in optimized operations from a local facility perspective. The NextGen vision includes utilizing NextGen capabilities to achieve

operational improvements that enhance the end-to-end performance and predictability of

the NAS. To achieve the vision, the FAA needs to align its structure, policies, incentives,

and procedures to address system-wide issues associated with integrating new operational

capabilities into the NAS. This activity should leverage the leadership and innovative

ideas of today’s Air Traffic Control workforce to deliver high-performing NAS

operations through use of new NextGen capabilities by tomorrow’s workforce.

The FAA should develop an integrated (i.e., holistic) approach for air traffic controller training to ensure its alignment with NextGen operations.

The FAA should defer the development of requirements for flexible airspace improvements and future facilities until the key NextGen concepts for the future work

environment are demonstrated.

6. Integrate advanced aircraft-centric1 operations to coincide with the next major forward fit of the fleet.

The key gap in this area is the lack of user adoption of required avionics technologies, due largely to the lack of maturity in the concept and business case for advanced

operations. The FAA should develop an integrated CNS air-ground plan in the next 12 to

18 months to ensure a realistic and coordinated approach to having the needed CNS

concepts and standards defined no later than 2022 to influence the next phase of aircraft

purchases and maintain global leadership.

1 Aircraft-centric operations allow ATC to take advantage of the capabilities on the aircraft and in automation rather than

compensate for the limitations of today’s system. Aircraft reliably and predictably execute instructions communicated digitally

and fly precisely as intended, making their flight paths more reliable and their movements more predictable. Controllers and

traffic flow managers have more flexibility to route traffic, giving them greater flexibility for unexpected conditions like

weather because they can rely on being able to communicate changes to traffic flows more quickly and efficiently.


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The FAA should defer development and implementation activities for Trajectory-Based Operations (TBO2) with integrated avionics until the concept is mature and

implementation plans are aligned with fleet forward fit.

Clearly, the FAA and industry have achieved good progress with measurable benefits at this point in

NextGen’s implementation, though much work remains. Many significant NextGen operational

improvements are still needed. The years 2014 and 2015 are critical for the FAA. In these years, many

acquisition decisions about the NextGen transformational programs and other key infrastructure programs

must be made to deliver NextGen operational capabilities and services by 2020. Furthermore, the FAA’s

focus must broaden from one of deploying infrastructure to one of transitioning the new and enhanced

capabilities into effective operational use.

2 TBO leverages aircraft-centric operations along with conflict resolution and other controller tools to change the way airspace

and aircraft are managed in the future work environment.


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Contents

Sections

NextGen—A National Priority 1

Taking Stock of NextGen: An Independent

Assessment 2

NextGen: Progress to Date and Remaining Gaps 5

NextGen: Maintaining a Strategic Focus 10

Deploy Transformational and Foundational

Systems 11

Procedurally Enable New Entrants 12

Maximize Operational Use of Available Aircraft

and Ground Capabilities 12

Eliminate Surplus Capabilities and Services 12

Integrate NAS-Wide Operations and

Performance 12

Integrate Advanced Aircraft-Centric Operations 13

Recommendations: Making NextGen Happen, for

2020 and Beyond 14

Deploy Transformational and Foundational

Systems 15

Maximize Operational Use of Available Aircraft

and Ground Capabilities 18

Procedurally Enable New Entrants 21

Eliminate Surplus Capabilities and Services 23

Integrate NAS-Wide Operations and

Performance 25

Integrate Advanced Aircraft-Centric Operations 27

Achieving NextGen Operations for 2020 and Beyond 29

Appendix A: Summary of Findings from the

Independent Assessment of NextGen 32

NextGen Progress to Date 32

Closely Spaced Parallel Operations 32

Wake Turbulence Separation Reductions 33

Oceanic Airspace Operations 34

Airspace Redesign 34

Performance-Based Navigation Procedures 35

Better Leveraging of Existing Automation 37

Key Investment Decisions 38


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NextGen Concept of Operations: Gaps

Impacting Full Implementation 40

Aircraft Equipage Implications on NextGen

Operations 46

Appendix B: Additional Background and Rationale

for the Recommendations 48

Appendix C: An Operational View of NextGen by

2020 and the Path Beyond 94

Appendix D: Acronyms 98

Figures

Figure 1: Assessment Framework 3

Figure 2: Building a “Sustainable” NAS 11

Figure 3: Overview of Upcoming Investment

Decisions 14

Figure 4: MITRE Recommendations for a

Sustainable NAS 31

Figure 5: Timeline Depiction of Current Enterprise

Architecture Decision Points 38

Figure 6: MITRE Recommendations for a

Sustainable NAS 95

Tables

Table 1: Technical Maturity Gaps 41

Table 2: Operational Transition Gaps 44

Table 3: User Adoption Gaps 45


The Next Generation Air Transportation System (NextGen)

is a transformation of the nation’s Air Traffic Management

(ATM) system developed in response to the Vision 100—

Century of Aviation Reauthorization Act, with a target date

for completion of 2025. The goals of this large-scale

transformation are to improve the level of safety, security,

efficiency, and affordability of the National Airspace System

(NAS). In addition to these direct benefits, NextGen

operations will accommodate a wider range of aircraft

operations, including Unmanned Aircraft System (UAS)

operations, and alignment with international operations.

Recognizing that Vision 100 relies on Communications,

Navigation, and Surveillance (CNS) technologies onboard

aircraft, the act compels participation of experts from

government agencies and the private sector to develop the

concepts and plans for NextGen. The private sector

participants include commercial aviation, general aviation,

aviation labor groups, aviation research and development

entities, aircraft and Air Traffic Control (ATC) system

suppliers, and the space industry. Each stakeholder owns a

part of this transformation.

The NextGen challenge is to balance the transformation to

new, improved services while simultaneously delivering

ongoing benefits, such as reducing delays, saving fuel, and

lowering aircraft exhaust emissions. Achieving this

transformation entails integrating new and existing

technologies, and updating ATM policies and procedures.

Much work remains, and the landscape has changed

significantly since the original NextGen vision and plans

were drafted. The nation’s financial situation has made

aviation-related budgets challenging, with an ever-increasing

emphasis on government cost efficiencies. The nation’s

aviation needs also fluctuate with changes in demand, fuel

prices, and security events. In addition, rapid advances in

technology are constantly presenting new opportunities for

developing enhanced capabilities that did not seem possible

just a few years ago, including the development of new kinds

of aircraft. Therefore, maintaining and investing in a

consistent vision of the future have proved difficult.

NextGen is approaching the midpoint in the envisioned 20-

year transformation (2005–25). The Federal Aviation

Administration (FAA), along with aviation stakeholders,

needs to develop an achievable plan for moving forward

with NextGen, given all the change factors mentioned above.

Once the FAA communicates this plan, the aviation

community, along with oversight organizations, can work

together more effectively to make NextGen a reality.

NextGen—A National Priority

NextGen is a long-term

transformation that relies on

emerging Communications,

Navigation, and Surveillance

technologies onboard aircraft.

Much remains to be done, and

the landscape has changed

significantly since the original

vision and plans were drafted.


Our recommendations for how to proceed toward 2020 and

beyond are the culmination of our independent assessment of

NextGen performed at the direction of the FAA’s NextGen

Office. The work began with an assessment of NextGen

progress to date, and grew to include a projection of what

NextGen will likely be by 2020, and an analysis of changes

that have occurred in the plans.

The recommendations resulting from these assessment steps

are intended to inform and influence FAA planning for what

can be achieved for NextGen by 2020. This NextGen

progress can only be made with the active participation of

the aviation community and by acting now.

We used a three-step approach to accomplish the

independent assessment. First, we assessed NextGen

progress to date (2014). We looked at which operational

services and transformational/modernization infrastructure

programs the FAA and aviation community have already

implemented.

Second, we projected what the FAA and aviation community

would likely accomplish toward the NextGen vision by 2020

in terms of both realizing operational services and

completing infrastructure modernization. We based our

assessment and definition on existing FAA documents such

as the NextGen Implementation Plan, Capital Investment

Plan, and NAS Enterprise Architecture and Operational

Improvements. We also relied on the FAA’s NextGen Mid-

Term Concept of Operations, and our own insights, as the

basis for developing that realistic vision of NextGen

operations by 2020.

Third, based on assessment results and the context of the

current environment, we developed recommendations for the

FAA to ensure success in getting to NextGen capabilities by

2020. Our recommendations account for various external

and internal factors affecting implementation, such as

aircraft fleet readiness and program maturity.

Figure 1 depicts the areas we assessed.

Taking Stock of NextGen: An Independent Assessment

MITRE’s three-step approach

considered infrastructure

deployment, fleet equipage

readiness, and operational

service realized as key factors

in determining NextGen

progress.

The FAA directed The MITRE

Corporation to conduct an

independent assessment.


Figure 1: Assessment Framework

The three key areas of our assessment were:

Infrastructure Deployment: We used the FAA’s NAS Enterprise Architecture, other planning

artifacts, and our own insights about specific

infrastructure programs to present both current status

and a projection for 2020 deployment.

Fleet Equipage Readiness: For many proposed NextGen improvements, aircraft-based capabilities

are critical to operational services success. We used

our understanding of the current and future state of

fleet readiness to project realistic expectations of

what can be deployed by 2020, and what is likely to

be deferred beyond that date.

Operational Services Realized: In addition to FAA planning and status documents, such as the NextGen

Segment Implementation Plan, we used our insights

into operations to analyze progress on specific

capabilities that are being deployed by 2020.

We did not consider detailed cost information in our

assessment. However, our recommendations do include FAA

Infrastructure

AirspaceDesign

Services

Functional Capabilities

Benefits

Operations• Policies• Procedures

Assessment of Infrastructure Deployment

Assessment of Fleet Equipage Readiness

Assessment of Operational Services Realized

Infrastructure Deployment, Fleet Equipage Readiness, and Operational Services Realized


cost-effectiveness as an objective. The remainder of this

document contains the following sections:

NextGen: Progress to Date and Remaining Gaps: Summary of the NextGen progress assessment

results

NextGen: Maintaining a Strategic Focus: Description of a strategic framework for achieving

NextGen

Recommendations: Making NextGen Happen, for 2020 and Beyond: MITRE recommendations for

moving forward on NextGen

We provide a prioritized list of proposed NextGen

capabilities to inform the FAA’s consideration of investment

trade-offs in the final section. Appendices A through C

document the details of our assessment efforts.

Appendix A: Summary of Findings from the Independent Assessment of NextGen

Appendix B: Additional Background and Rationale for the Recommendations

Appendix C: An Operational View of NextGen by 2020 and the Path Beyond


Our assessment showed that the FAA and the aviation

community have made substantial progress toward

achievement of the NextGen foundation since 2008. NAS

infrastructure modernization is well underway, and enhanced

operational capabilities, procedures, and services are

delivering some targeted operational benefits today. Aircraft

capabilities are well advanced in some areas, but have been

slow to advance in others. This section highlights, through

selected examples, our assessment findings on the progress

to date and on the gaps that are expected to remain by 2020.

Appendix A of this report provides a more detailed summary

of our findings, and a separate report, Independent

Assessment of the NextGen Plans-Revised,3 fully documents

them.

The assessment evaluated our estimate of expected progress

by 2020 to the NextGen capabilities and infrastructure as

documented in the FAA’s “NextGen Mid-term Concept of

Operations” and NextGen Implementation Plan of 2009. In

cases where the mid-term concept did not address key

evolving operations (e.g. increased use of the NAS by UAS

and commercial space vehicles [CSVs]), we extended the

assessment to include those operations. The assessment did

not include an assessment of relative importance,

practicality, nor benefits. The recommendations documented

in this report were informed by the assessment results, but

also took other information and factors into account.

The gaps discussed in this section are limited to those that

we found most pertinent to the recommendations. One

example of an identified gap that is not pertinent to the

recommendations is the concept of “generic airspace.” FAA

service analysis of this concept has not resulted in a

compelling business case; hence, the FAA has deferred the

concept indefinitely. Though it is a gap relative to the mid-

term concept, it is not a gap that needs to be addressed.

We found that many of the gaps are due to the three

fundamental challenges:

1. Operational Transition: There is a need for more effective transition planning for maturing NextGen

capabilities (including controller/pilot training on

intended operational use, the development and

integration of procedures, mixed equipage

environments, international harmonization, and best

practices for use and benefits) synchronized with the

3 The MITRE Corporation, “Independent Assessment of the Next Generation Air Transportation System (NextGen) Plans –

Revised,” F150-B14-002, 27 August 2014, The MITRE Corporation, McLean, VA.

NextGen: Progress to Date and Remaining Gaps

The FAA and aviation

community have made good

progress toward achievement

of the NextGen vision, but

significant gaps and

challenges remain


user community. This is the largest gap affecting

operational use and delivery of benefits.

2. User Adoption: Aircraft owners and operators need to equip their aircraft with new avionics that provide

the capabilities needed for the planned NextGen

operational capabilities and services to be used

effectively.

3. Technical Maturity: Some concepts and technology are not mature enough to meet the

complete NextGen vision as outlined in 2008. These

elements are not yet ready for implementation by

2020.

We did not assess the adequacy of the FAA’s budgets for

NextGen capability development, deployment, and

operational transition. Although FAA budget shortfalls have

contributed to some of the gaps, many of the identified gaps

exist for other reasons. The formulation of solutions to

address the gaps must consider both fiscal resources and

other means, such as policy generation or prioritizing and

focusing development and deployment on a smaller number

of select capabilities.

Infrastructure Progress and Gaps

The assessment showed that the FAA and the aviation

community have made substantial progress toward

achievement of the NextGen foundation since 2008 and that

NAS infrastructure modernization is well underway. Most

spending up to this point has been on infrastructure; most of

the transformation and foundational infrastructure will

achieve an initial baseline by 2015, with Data Comm and

others by 2020. Of particular positive note is the completed

deployment and nearly completed integration of the

Automatic Dependent Surveillance-Broadcast (ADS-B)

ground infrastructure, and the substantial deployment of

Collaborative Air Traffic Management Technologies

(CATM-T). In addition, good progress has been made on

other key infrastructure programs:

The En Route Automation Modernization (ERAM) and Time-Based Flow Management (TBFM)

programs will complete their baseline capability

deployment by 2015.

Ground-Based Augmentation System (GBAS) development for Category (CAT) I operations is

complete; the capability is ready and the remaining

action is airport authority procurement and

installation.


However, there are infrastructure modernization gaps that

will not be fully closed by 2020:

Flexibility to reallocate (i.e., redistribute) communications, surveillance, and flight trajectory

data needed for more collaborative strategic traffic

management

Automation enhancements for probabilistic constraint prediction and development of more

effective Traffic Management Initiatives (TMIs)

Staffed NextGen Towers for increased service delivery efficiency

Automation enhancements for metering, merging, and sequencing in terminal airspace

Transitioning NAS automation systems to use of NextGen weather infrastructure services, and the

concomitant decommissioning of legacy weather

processors and interfaces

Completed standards for GBAS CAT II and CAT III approaches

ATM Operations Progress and Gaps

In regard to ATM operational capability and service

enhancement, several significant improvements that leverage

existing aircraft capabilities are delivering operational

benefits at one or more sites:

Closely Spaced Parallel Operations (CSPO) improvements are increasing capacity and efficiency

during low-visibility conditions at airports that have

closely spaced parallel runways, such as San

Francisco International Airport.

Aircraft spacing improvements have resulted from wake turbulence analysis and changes to the

separation criteria. These improvements are

increasing arrival and departure capacities at several

airports, including those in Boston, Cleveland,

Houston, Louisville, Memphis, Miami, Philadelphia,

San Francisco, and St. Louis.

New procedures, restructured routes, reduced separation criteria, and tailored arrivals are reducing

fuel consumption for some flights traversing the

Pacific Ocean and the Gulf of Mexico.

New airspace designs and Performance-Based Navigation (PBN) procedures implemented through

the FAA’s Metroplex and other redesign initiatives

are improving overall system efficiency in several


busy areas, including Denver, Houston, and

Washington, DC.

The continued shift to PBN throughout the NAS is improving safety, access, capacity, predictability,

operational efficiency, and environmental effects.

Included in this shift are new Area Navigation

(RNAV) and Required Navigation Performance

(RNP) approach procedures.

Increased use of existing automation system capabilities is improving operations. For example,

the Converging Runway Display Aid (CRDA) is

improving operations in additional terminal areas

that involve intersecting or converging arrival

runways or approaches.

However, there are ATM operations gaps that remain in 2020, some that involve aircraft

capabilities where early adopters who have equipped

will not accrue benefits and other capabilities where

the overall flexibility and predictability of the NAS

will not experience the improvements envisioned in

the midterm concept:

Use of flight plan data to determine which routes best meet user needs based on aircraft equipage and

performance capabilities

Use of higher complexity, more dynamic collaborative capabilities for strategic traffic

management

Use of ADS-B In capabilities for CAT I and CAT II Paired Approach operations

Flight deck-based Interval Management-Spacing (IM-S) operations to high-density airports

Pairwise delegated aircraft-to-aircraft separation

Time-of-arrival control operations integrated within broader metering concepts

Complex, data-linked clearances to enable precise metering and four-dimensional (4D) trajectory

management in en route and terminal airspace

Aircraft Capability Progress and Gaps

In regard to aircraft capability advancement, our assessment

showed that the Air Transport fleet is primarily being

equipped via forward fit opportunities as new aircraft replace

older aircraft. This is particularly evident today for PBN

capabilities. The U.S. Air Transport fleet is nearly

completely equipped and capable to perform most PBN


procedures, including RNP 10, RNP 4, RNAV 2, and RNAV

1. more than half the fleet is equipped and capable to

perform Vertical Navigation (VNAV), RNP 1 with Curved

Path, and RNP Authorization Required (AR) procedures.

Retrofitting legacy aircraft is not nearly as robust, although

various FAA-funded pilot programs, such as for Data

Comm, are enabling some near-term equipage.

The long-term picture is unclear. To date, there is very little

(less than 3 percent) ADS-B Out equipage in the Air

Transport fleet, despite the January 2020 effective date of the

FAA’s equipage mandate. Based on similar historical retrofit

programs and considering that some fleets of aircraft do not

yet have certified ADS-B systems available for purchase, the

remaining time may not be sufficient for all operators to

equip their aircraft. Gaps also are expected in fleet equipage

for low-visibility operations via Enhanced Flight Vision

Systems and Synthetic Vision Systems, cockpit situational

awareness via ADS-B In capabilities, precision approach

operations via GBAS capabilities, and complex clearance

delivery via Data Comm. As a result of differences in level

of equipage across the fleet and capabilities by location,

perceptions within the community about the amount of

progress the FAA has made on NextGen implementation

vary.

Summary

Clearly, the FAA and industry have made good progress to

date implementing NextGen, though much work remains to

be done. Many significant NextGen operational

improvements are still needed. The years 2014 and 2015 are

critical for the FAA. In these years, many acquisition

decisions about the NextGen transformational programs and

other key infrastructure programs must be made to deliver

NextGen operational capabilities and services by 2020.

Furthermore, the FAA’s focus must broaden from one of

deploying infrastructure to one of transitioning the new and

enhanced capabilities into effective operational use. The next

section describes a recommended framework for maintaining

the needed strategic focus, and the subsequent section

presents our specific recommendations for ensuring

successful NextGen implementation.


Achieving NextGen and realizing its benefits will take many

years. Evolving a transformational change in infrastructure

and operations between the government and the aviation

community must ensure safety and economic viability

through the transition.

During our assessment, we developed a framework to look

strategically at the NextGen transition. Figure 2 presents the

framework, titled “Building a ‘Sustainable’ NAS for All.”

By “sustainable,” we mean a scalable and resilient NAS that

delivers capabilities and benefits to current operators of the

NAS, is adaptable to serve new entrants in the NAS, and is

cost-effective for the U.S. government and the aviation

community. Sustainability of the NAS also includes

maintaining the nation’s safety, security, and economic

viability.

The framework offers a top-level view of where and when to

focus on implementing NextGen over time, and may prove

useful in gaining stakeholder agreement on the why, what,

and when of NextGen implementation.

Moving forward, NextGen success will depend on the FAA

completing deployment of key infrastructure, making better

use of current operational capabilities, and then pursuing

advanced concepts that eventually enable the full realization

of NextGen operations. The initial transformation of NAS

operations, enabled by the use of integrated NextGen

capabilities, is expected to be achieved by 2025. The next

part of the transformation originally defined in the NextGen

vision will be through advanced aircraft-centric operations

that are dependent on the fleet replacements expected in the

post-2025 timeframe.

NextGen: Maintaining a Strategic Focus

Six strategic NextGen themes

to build a “sustainable” NAS

for all.


Figure 2: Building a “Sustainable” NAS

The FAA must complete the replacement of automation that

supports all phases of flight and transition to a more flexible

CNS system so that it can develop future operations that are

scalable and independent of specific facility locations. The

FAA must use modern technologies to exchange business-

essential information across the NAS and airspace users.

Achieving NextGen depends on implementing significant

new automation-enabled operational capabilities (this would

have been very difficult and more costly with the legacy

ATM automation systems). Upgrading the infrastructure will

enable the FAA to focus on developing advanced

capabilities that achieve operational benefits for the FAA

and aviation stakeholders.

NextGen FoundationBasic NextGen

OperationsIntegrated NextGen

OperationsAdvanced Operations

2025* 2030

Deploy Transformational and Foundational Systems

2015 20202005

Procedurally Enable New Entrants

Integrate NAS-wide Operations and Performance

Building a “Sustainable” NAS for AllFocus Shifts over Time

Maximize Operational Use ofAvailable Aircraft and Ground Capabilities

Eliminate Surplus Capabilities and Services

* Initial Transformation in NAS Operations Complete

Integrate Advanced Aircraft-Centric

Operations

Deploy Transformational

and Foundational Systems


Because of progress made, the aviation community can

address the most pressing local shortfalls, such as surface,

multi-runway, and airspace inefficiencies at key Metroplex

areas, by better leveraging the current ground-based (e.g.,

ATM automation) and aircraft-based navigation capabilities

to see the initial benefits of NextGen. However, near-term

gains will not be fully realized without instituting new

procedures and policies, such as flow management practices,

that integrate existing capabilities and new tools for

metering, merging, and rerouting to enable NextGen

operations today.

Between now and 2020, a primary source of demand growth

will come from new airspace users, such as UAS, CSV, and

the evolving passenger aircraft fleet, all bringing new

demands to the NAS. Enabling these operations requires

developing operational specifications for use of the NAS.

Between now and 2020, procedural and policy solutions,

such as new flow/airspace management techniques, will

allow a minimal capability to balance access of new entrants

with legacy air traffic operations. After 2020, these

techniques will lead to automation system requirements for

full integration as demand grows.

As the FAA and the aviation community implement and

deploy capabilities necessary to achieve NextGen, there

must be a greater focus on phasing out surplus capabilities,

procedures, and services. Between now and 2020, the focus

is on discontinuing legacy capabilities; longer term, the

strategy must shift to restructuring the inventory to deliver

more scalable, adaptable, and resilient services. The rationale

for this is twofold: 1) ensuring cost efficiency of the FAA

and operators, and 2) ensuring that both the FAA and

operators adopt NextGen capabilities and realize NextGen

operational and efficiency benefits.

Maximizing operational use of available aircraft and ground

capabilities is the focus until 2020. The emphasis should

then shift to transitioning to an environment focused on

predictable NAS-wide system performance. Predictability

will be achieved through an integrated approach across

domains, to meet possible ranges of future demand from all

airspace users. It requires that the FAA decouple facility

locations from their controlled airspace. Then, the FAA

should develop ATM decision-making approaches to ensure

that operational decisions align with other operational

decisions. Integrating the initial elements of NextGen should

be the focus of the 2020–2025 transition to the work

environment of the future.

Maximize Operational

Use of Available Aircraft

and Ground Capabilities

Procedurally Enable New

Entrants

Eliminate Surplus

Capabilities and Services

Integrate NAS-Wide

Operations and Performance


Many of the proposed advanced operational capabilities in

NextGen have significant dependencies on integrated

ground-based and advanced aircraft-based capabilities.

These capabilities must consider aircraft fleet evolution.

Therefore, the FAA should develop a realistic plan, with

manufacturers and other stakeholders, for post-2020

implementation of advanced aircraft-centric operations. The

long lead time for fleet equipage of new capabilities means

standards and concept development for these advanced

operations must continue. The challenge of changing

international requirements represents risk for operators and

manufacturers, so harmonization efforts must continue as

well.

Integrate Advanced Aircraft-

Centric Operations


This section presents our recommendations for moving

forward with NextGen, based on the assessment findings,

context of the current environment, and achieving the

objectives highlighted in Figure 2. Appendix B contains

additional details, background, and rationale to support these

recommendations. Recommendations that relate to a

NextGen Advisory Committee (NAC)4 priority are noted.

The years 2014 and 2015 are critical for making decisions on

moving forward with other key operational capabilities.

Figure 3 provides an overview of critical investment

decisions that are scheduled through 2020. The FAA must

determine, within the available and projected budgets, how

to proceed on each program. This determination should

consider the dependencies among these decisions, the

priorities of different stakeholders, and potential benefits.

Our infrastructure recommendations focus on establishing

the infrastructure necessary to support the operational

changes envisioned for NextGen, for 2020 and beyond.

Figure 3: Overview of Upcoming Investment Decisions

4 RTCA NextGen Advisory Committee, NextGen Prioritization, September 2013.

Recommendations: Making NextGen Happen, for 2020 and Beyond

The years 2014 and 2015 are

critical for making decisions

on moving forward with other

key operational capabilities.


The FAA has made substantial progress in replacing highly

constrained legacy infrastructure. Several key NextGen

transformational programs and foundational infrastructure

components are underway. The FAA should fully fund and

complete the following programs to enable future NextGen

operational capabilities:

En route automation national deployment (En Route Automation Modernization [ERAM] Release 3 [R3])

Time-based metering infrastructure (Time-Based Flow Management [TBFM] Work Package 2

[WP2])

Terminal automation for large Terminal Radar Approach Controls (TRACONs) (Terminal

Automation Modernization Replacement [TAMR]

Phase 3 Segment 1 [P3S1])

System-wide Information Management (SWIM) (Segments 1 and 2A)

Collaborative ATM (CATM) infrastructure (CATM Work Package 3 [WP3])

A1: Complete Future Air Navigation System (FANS)-

based Data Communications. (NAC Priority)

The FAA should ensure that FANS-based Data

Communications is fully operational for the planned 57

Airport Traffic Control Towers and 20 Air Route Traffic

Control Centers (ARTCCs) consistent with NAC

recommendations. This deployment should include a

national policy for the use of the capability, along with

consensus from the user community on the benefits of

data communications.

A2: Pursue Aeronautical Telecommunication Network

Baseline 2 (ATN B2) as the global standard for future

Data Comm applications and align operational transition

with integrated avionics and ATC services availability.

(Data Communications Segment 2)

The FAA should focus on deploying FANS-based data

communications for en route Data Comm services

consistent with the NAC recommended priorities. The

FANS implementation will be a revolutionary change in

FAA domestic operations and will demonstrate global

leadership in air-to-ground data communications en

route service delivery. The experience gained from this

effort will mitigate the risk of more complex Data

Comm use over ATN B2.

Deploy Transformational

and Foundational Systems

Achieving NextGen depends

on implementing significant

new automation-enabled

operational capabilities and

upgrading the NAS

infrastructure.

Several key programs are

foundational for enabling

future NextGen operational

capabilities.


Concurrent with Segment 1 FANS implementation, the

FAA must continue to develop the global ATN B2

standards. The standards work must combine with

efforts to develop mature integrated operational

concepts. The FAA should aggressively pursue and

complete the standards development and concepts work,

which are the keys if avionics and ground system

implementation are to be complete in the planned FAA

timeframe. The FAA should continue to work with users

and manufacturers on operational benefits of integrated

functions and alignment of implementation schedules to

meet ATC service availability objectives.

A3: Transition to networked voice services at high-

priority towers/TRACONs and all en route facilities to

maintain services and enable UAS new entrants.

The FAA should focus on implementing a limited-scope

NAS Voice System (NVS) Segment 2 at high-priority

terminal facilities and all ARTCCs by 2025 to maintain

service and enable new aircraft entrants. The FAA

should give priority to replacing legacy voice switches

that are reaching end of service. This networked voice

capability will be a key enabler for UAS integration and

migration to Internet Protocol (IP).

A4: Rapidly field tower/surface electronic data sharing at

high-priority sites to deliver airport-specific benefits.

(Modified Terminal Flight Data Manager [TFDM]). (NAC

Priority)

The FAA should emphasize early implementation of a

limited set of key surface capabilities (electronic flight

strips, surface viewers, and surface data sharing) at high-

priority airports. This action includes reducing the scope

of TFDM and deferring introduction of new capabilities,

and shifting from the current acquisition process to an

agile acquisition process. An agile development process

would take advantage of available prototypes and allow

efficient implementation of other surface capabilities.

Surface data exchange is needed to enable airports or

operators to develop surface traffic management tools to

meet their needs.

A5: Replace automation at select small TRACONs to

provide a common platform at future facilities. (Modified

TAMR Phase 3 Segment 2 [P3S2])

The FAA should accelerate decisions on rightsizing

TRACONs, and on closing low-volume towers, to

inform decisions on where and when to discontinue

legacy ATM automation infrastructure or replace it with


the Standard Terminal Automation Replacement System

(STARS) ELITE.

A6: At an enterprise level, transition to secure information

services to improve cybersecurity and reduce FAA cost.

The transition initiative must include an enterprise-level

plan and funding to ensure that foundational and

transformational systems will use SWIM services. These

services are critical to improving information security

across the NAS for all categories of data. If this

enterprise-level plan is not instituted, no further

investments should be made in related NAS net-centric

infrastructure capabilities (e.g., enhanced SWIM

services, weather, and aeronautical information). As part

of this recommendation, the enhanced Flight Data

Publication Service capability should be deferred until a

concept and plan for a flight data authoritative source is

approved and adopted across the NAS.

A7: Based on establishing the above agency commitment to

SWIM-based dissemination, transition to replacement

aeronautical and weather information services to reduce

FAA cost. (Aeronautical Information Management

Modernization [AIMM] Segment 2, Common Support

Services-Weather [CSS-Wx] Work Package 1 [WP1],

NextGen Weather Processor [NWP] WP1)

The FAA must compel NAS-wide conformance with

these net-centric services and aggressively

decommission legacy interfaces. In addition to

infrastructure transition, the FAA should execute a NAS-

wide operational transition to use the enhanced

aeronautical information and National Weather Service-

provided NextGen common weather information base

for ATM decision making. Defer future aeronautical

information management services (AIMM Segment 3)

until concept and policy exist for operational use as an

authoritative source.

A8: Defer future common weather enhanced services

until concepts for integration are clear. (CSS-Wx WP2 and

NWP WP2)

The FAA should focus on implementing the above

NextGen weather capabilities, and use experience gained

to determine what additional weather services might be

needed.

Transitioning to a more

flexible communication,

navigation, and surveillance

system will enable the FAA to

develop future operations that

are scalable and independent

of specific facility locations.


Significant improvements have occurred where avionics,

automation, and procedural changes are in alignment. The

focus of this strategy should be on achieving operational

improvements at airports and the Metroplex level, and for

en route and traffic management operations. NextGen

success relies on shifting from deploying infrastructure to

focusing on operational capability implementation and

operational use. This includes maximizing the benefits from

investment airlines have made in aircraft capabilities.

The FAA is currently implementing new automation

capabilities. It is important to develop procedures and

training in a timely manner to integrate these capabilities

into operations. The FAA must focus on the operational

transition of capabilities and ensure a joint implementation

effort with stakeholders. Accomplishing envisioned

NextGen operations will require sustained and substantial

FAA and operator investments out to 2020 and beyond to

change and train practices, procedures, and new operations

for Air Navigation Service Providers (ANSPs) and pilots.

We suggest that the FAA Air Traffic Operations Council

take the lead in ensuring the full use of existing and planned

NextGen capabilities.

The following are our recommendations for ensuring

operational use of available capabilities and aircraft equipage

that realize the most significant benefits for Metroplex and

non-Metroplex operations:

B1: Implement redesigned airspace and PBN procedures

at initial Metroplexes to deliver airport-specific benefits

where stakeholder commitments have been made. (NAC

Priority)

The FAA should maintain current stakeholder design

commitments on the initial Metroplex activities. Where

appropriate, mature NextGen CSPO, TBFM

arrival/departure operational practices, and PBN

procedures should all integrate with surface and

departure practices and procedures to enhance user

benefits.

B2: Implement multi-runway procedures at priority

airports (e.g., Enhanced Lateral Separation Operations

[ELSO], CSPO, Wake) to deliver airport-specific

benefits.

The FAA should fully fund the transition to use Wake

Categorization and CSPO for all high-benefit sites.

Where multiple procedures and improved spacing may

address the same shortfall, the FAA should reconcile the

best use of available procedures and solutions.

Maximize Operational Use

of Available Aircraft and

Ground Capabilities

Significant improvements have

occurred where automation

lines up with procedural

changes.


B3: Initiate additional Metroplex redesign and non-

Metroplex PBN procedure designs to deliver airport-

specific benefits. (NAC Priority)

As new capabilities and issues arise, the FAA must

prioritize further site selection based on the most

pressing NAS-wide needs. The redesign processes

should reflect the NextGen capabilities. The aviation

community must collaborate in prioritizing the next

round of national and local needs beyond 2018.

B4: Develop a phased approach to deploy metering

capabilities as they mature to support Metroplex

redesigned operations for airport-specific benefits.

(TBFM WP3)

The FAA should accelerate activities to mature those

elements of terminal metering that would increase the

benefits from planned Metroplex and non-Metroplex

PBN implementations. We suggest that the Airspace

Program Office and the TBFM Program Office conduct

a joint initiative to validate those highest priority

elements.

The following are our recommendations related to the NAS-

wide use of other key NextGen operational capabilities:

B5: Develop policy for, and clearly communicate

consequences of, non-compliance with the ADS-B

mandate to increase equipage.

At the current pace of equipage, the aviation community

will not meet the 2020 mandate. MITRE acknowledges

NAS-wide benefits to the U.S. aviation community for

the FAA to maintain its commitment on the rule’s

effective date. To encourage community action, the FAA

should clarify the requirements for compliance, the

consequences of non-compliance, and the limited

conditions under which waivers might be granted. These

measures will provide increased assurance to the

community that the FAA will transition to ADS-B Out

as the standard means of surveillance by 2020, with

radar as backup. Industry should plan to comply with the

mandate in order for NextGen to deliver planned

benefits.

B6: Implement national use policies for collaborative

routing and time-based metering to realize more

predictable flows. (TBFM/CATM)

The FAA should implement collaborative routing and

time-based metering national use policies, procedures,

practices, and training, to complete the operational

Available capabilities and

aircraft equipage are

sufficient to provide

significant benefits for

Metroplex and local

operations at major

airports.


transition for currently deployed capabilities. The FAA

should focus on developing national use policies, as well

as procedures, practices, and training, to use currently

deployed capabilities more effectively. Doing so will

ensure that the benefits of collaborative routing and

time-based metering are maximized. This includes

Traffic Flow Management System WP3 and related

ERAM and tower automation changes. For time-based

metering, the metering applications should be aligned

with all other procedures and capabilities implemented at

the same sites.

B7: Implement en route capabilities for improved

trajectory modeling and flight planning to obtain ADS-B

Out and Optimized Profile Descents (OPD) benefits, and

enable UAS operations. (ERAM Sector Enhancement)

A near-term FAA focus should be on enhancing en route

trajectory modeling and flight planning automation

capabilities to take advantage of ADS-B Out data. These

capabilities will help to enable new airspace entrants,

provide benefits from tighter separation through the use

of ADS-B Out data, and increase benefits from OPD

operations.


Significant growth is forecast for UAS operations and

commercial Space Vehicle Operations (SVO), but there is

uncertainty about where, when, and the actual levels of

growth. However, demand is already growing for greater

access before 2020. Permitting access to the NAS by such

new entrants has been a key objective of the government’s

multi-agency NextGen long-term vision. Much will need to

be learned between now and 2020 to understand the impact

of requirements to integrate UAS operations and SVO into

the NAS safely and efficiently. In the near term, the focus

should be on expediting procedural mechanisms that enable

new entrants. In parallel, initiatives are needed to provide

fuller integration. We suggest that the UAS and SVO

operational teams take the lead in considering the

recommendations below.

The following are our recommendations for the procedural

enabling of new entrants:

C1: Fast-track across government small UAS (sUAS)

rulemaking to enable routine sUAS operations.

The FAA should release the Notice of Proposed

Rulemaking (NPRM) on sUAS by 2014 and finalize the

rule rapidly to enable commercial sUAS operations on a

routine basis. Until the sUAS rule is final, the FAA

should maximize the use of the FAA Modernization and

Reform Act Section 333 authorizations to address user

demand and to increase external confidence.

C2: Execute a cross-organizational plan to incrementally

expand commercial UAS access into the U.S. aerospace

system by adapting existing policies, regulations, and

procedures.

By 2018, the FAA and stakeholders should reach

agreement on a detailed roadmap for defining the policy,

equipage standards, operational concepts, and

automation requirements that can be achieved through

2025 and beyond to enable routine integration of UAS

operations. This roadmap should use interpretations of

existing policies in combination with establishment of

new regulations. Early adopters should work directly

with the FAA to develop their operations. The FAA

should begin to incorporate these new entrants through

interpretation and clarification of procedures for a few

types of UAS operation and incrementally expand the

number of operation types for which service can be

offered.

Procedurally Enable New

Entrants

In the near term, focus on

expediting procedural

mechanisms that enable new

entrants.


C3: Execute a cross-agency plan that standardizes

approvals and streamlines operations to better

accommodate CSVs in the U.S aerospace system.

This effort should include developing policies and

procedures, as well as the technical, operational, and

certification requirements, to procedurally create

correctly sized protected airspaces for launch and

recovery of space vehicles.


To date, the FAA has focused more on deploying NextGen

capabilities to modernize the NAS, and less on eliminating

the surplus NAS capabilities, infrastructure, and services. As

part of this NextGen focus area, the agency needs to

understand service expectations, look critically at the NAS

footprint, legacy, and redundant procedures and execute a

plan to eliminate surplus capabilities, procedures, and

services that are costly and inhibit the full transition to

NextGen. This focus will be critical to realizing the cost

efficiencies in the operation of the NAS envisioned with

NextGen. We suggest that the Strategic Implementation

Group take the lead in considering these recommendations.

The following are our recommendations for elimination of

surplus capabilities and services:

D1: Reallocate ATC services and streamline operations

across TRACONs, towers, and en route facilities to

reduce costs.

The FAA should accelerate action on Section 804 of the

FAA Modernization and Reform Act of 2012 to

transition out of TRACONs and towers that are

underutilized. The results of these efforts should then

align with decisions on scoping TAMR P3S2 and TFDM

functionality, and with minimizing development/

deployment costs.

D2: As part of the streamlining recommended in D1,

implement remote operations for selected tower services

to reduce costs.

The FAA should make a priority effort to validate and

implement a concept of remote operation controlled

arrival/departure services as an alternative to low-

volume towers.

D3: Transition to minimum navigation infrastructure to

reduce FAA costs.

The FAA should aggressively move to define a policy

for a minimum level of navigation services in the event

of a short-term Global Positioning System (GPS) service

outage. This will inform the definition of an

implementation solution that should minimize the

ground-based navigation infrastructure and redundant

procedures in all phases of flight.

Eliminate Surplus

Capabilities and Services

Between now and 2020, the

focus is on discontinuing

legacy capabilities; longer

term, the strategy must shift to

restructuring the inventory to

deliver more scalable,

adaptable, and resilient

services.


D4: The FAA should aggressively move to eliminate legacy

point-to-point data telecommunications and information

interfaces to reduce FAA costs.

The objective of this action is to eliminate outmoded,

costly information interfaces and legacy delivery

systems. As part of interface modernization, the FAA

should prioritize on migrating to a predominately IP-

based NAS infrastructure by 2025. The objective of this

cost-effectiveness initiative is to replace today’s

inflexible and outmoded dedicated infrastructure with an

agile and commodity-based IP-enabled infrastructure, to

avoid obsolescence and take advantage of IP-network

flexibility.

D5: Align oceanic and terminal automation technology

refresh with future platform convergence plans to reduce

FAA cost (Modified Advanced Technologies and Oceanic

Procedures [ATOP]). (ATOP and TAMR Technology

Refresh)

The FAA has conducted numerous studies of the pros

and cons of having a common NAS automation

infrastructure. Given the upcoming decisions on

technology refresh for several NAS systems (e.g., ATOP

and TAMR), it is time for the FAA to make a firm

decision on platform convergence and move

accordingly.

D6: Transition FAA-provided Continental U.S. (CONUS)

flight services to the private sector to reduce costs.

The private sector already provides many of the flight

services that the FAA has traditionally provided. The

FAA should revalidate its need to provide these types of

services, and then be aggressive in divesting services

that are not necessary given the FAA’s role. Over time,

the private sector will further determine, based on

demand, the required services for today’s information

environment.


The 2015–20 focus will primarily be on realizing maximum

benefits at airports or Metroplexes through available

NextGen capabilities and aircraft equipage. Beyond 2020,

the focus should shift toward maximizing NAS-wide

efficiencies and predictability. A higher degree of integration

of the NextGen capabilities will be necessary for the

collaborative environment of the future. We suggest that the

Air Traffic Organization (ATO) and workforce

representatives take the lead in carrying out these

recommendations.

The following are our recommendations for the integration

of NAS-wide operations and performance:

E1: Implement a strategy that aligns the future ATC

workforce with NextGen capabilities to deliver high-

performing NAS-wide operations.

The FAA should focus on aligning structure, policies,

practices, and procedures for the NextGen environment

with future performance objectives. These performance

objectives should include NAS operational reliability,

scalability, and productivity in a human-centered

NextGen concept. This should include practical field

demonstrations of NextGen service delivery that

achieves this concept and integrates proposed individual

NextGen capabilities.

E2: Related to recommendation E1, defer flexible airspace

improvements and future facilities until NextGen

capabilities in a future work environment are

demonstrated. (Future ERAM Enhancements)

In particular, the FAA should focus on validating post-

2020 NextGen sector and facility concepts to gain a

better understanding of desired future NextGen

operations and capabilities needed to support them.

These validation efforts will lay the foundation for

setting requirements for facility and sector upgrades. The

FAA should proceed with the N90 physical plant

replacement.

E3: Modify CATM Work Package 4 (WP4) to focus on

implementing applications to improve demand

prediction, NAS-wide performance, and predictability.

(Modified CATM WP4)

The FAA should give priority to developing specific

capabilities to provide a systematic approach to NAS-

wide performance management. The approach should

integrate collaborative capabilities for decision makers

so they understand the impact of their actions on others,

and on operational performance across the NAS. This

Integrate NAS-Wide

Operations and Performance

NAS-wide efficiencies and

predictability will be achieved

through an integrated

approach across domains.


will enable a better understanding of NAS-wide

implications of local actions and decisions. Other flow

management capability investments should be deferred

until concepts mature, and until there is traction on

making better use of available CATM capabilities.

E4: Integrate controller training approaches and

methods to match future operations concepts and to

reduce FAA costs.

The FAA should give priority to integrating ANSP

training methods to enable flexible and expedited

training for recurrent training needs, as well as

operational transition to new NextGen concepts and

capabilities.

E5: Identify airspace and ATM modifications required

for routine UAS and commercial SVO. (ERAM Sector

Enhancement)

Except for initial sector enhancements to UAS-related

operations, the FAA should defer more advanced

enhancements until initial lessons are learned from early

procedural UAS integration. The lessons will inform

decisions on implementing required changes to airspace

and ATM infrastructure for full integration of UAS

operations in the 2020+ timeframe. The FAA should

take a similar approach to integration of CSV.

E6: As an initial effort to explore advanced NextGen

concepts, implement oceanic enhancements to support

user-preferred 4D airborne routing. (Modified ATOP

WP1)

The FAA should re-scope this work package to focus on

enabling equipped aircraft to fly as close as possible to

their preferred 4D oceanic trajectory. This will provide

user benefits and also enable the advancement of, and

experience with, future TBO concepts. This initiative

would take advantage of highly equipped aircraft—

making use of existing aircraft capabilities is a

continuing user priority.

NextGen requires the

integration of automation

enhancements, updated

procedures and airspace

design, and controller

training.


NextGen research on advanced aircraft-centric capabilities

cannot substantially outpace the community development of

operating concepts and business case. Significant evolution

of today’s fleet is not likely to occur until 2025 and beyond.

Therefore, the alignment of the advanced concepts to the

major forward fit of the fleet will allow for improved

integration of investments by the airlines and the FAA. This

means deferring implementation of advanced aircraft-centric

operations until:

They better align with aircraft operators’ readiness to equip.

The maturity of the concepts and technology are established.

Operational priorities are established and benefits are understood.

We suggest that the integrated CNS team (AVS/ATO/ANG)

take the lead in considering these recommendations.

The following are our recommendations for enabling

advanced aircraft-centric operations:

F1: Complete standards and concepts for secure,

integrated CNS by 2022 to maintain global leadership.

There is a need for an approach to planning for aircraft-

dependent, advanced NextGen applications that

recognize and leverage the next major forward fit of the

fleets in 2025 and beyond. The FAA should develop an

integrated CNS plan in the next 12 to 18 months to

ensure a realistic and coordinated approach to defining

the needed CNS concepts and standards with industry no

later than 2022 to influence the next phase of aircraft

purchases and maintain global leadership. The aviation

community must contribute to the concept and business

case development to ensure that a credible set of aircraft-

centric operations result to aid their investment

decisions.

F2: Defer TBO with integrated avionics until the concept

is mature and implementation is aligned with fleet

forward fit.

Much research has been done on this concept. Elements

of the concept, such as airborne rerouting, will exist in

the 2020 timeframe. However the full concept of the use

of 4D trajectory needs to be worked out. The avionics

for these functions must also exist in large enough

numbers to support operational use.

Integrate Advanced Aircraft-

Centric Operations

Significant evolution of

today’s fleet to one that

supports aircraft-centric

operations is not likely to

occur until 2025 and beyond.


F3: Move forward on initiatives to implement aircraft-to-

aircraft technologies using ADS-B In and procedures at

select locations to realize benefits.

There is a need to close the user adoption gap related to

ADS-B In. To address this gap, the FAA should expand

lead carrier agreements at additional locations to use

existing standards, services, and procedures for ADS-B

applications (e.g., oceanic In-Trail Procedure, Cockpit

Display of Traffic Information [CDTI]-Assisted Visual

Separation). These efforts will help the FAA and

operators to realize a return on investments, and may

promote early adoption of equipage.

F4: Defer navigation infrastructure for degraded services

during GPS outages until requirements are mature. (Alternative Positioning Navigation and Timing [APNT])

The FAA should defer APNT implementation until

requirements are validated and aligned with advanced

NextGen concepts, which require further development.

F5: Defer integrated arrival-departure operations with

aircraft-centric procedures until trajectory-based

procedures are used consistently and the concept is

mature. (Modified TBFM WP4)

The FAA should defer implementation of these concepts

until operational needs are better understood and the

environment for operational benefit is understood.

F6: Defer advanced surface TBO and associated

avionics-dependent surface capabilities.

The FAA should focus on implementing the revised

scope of TFDM (per recommendation A4).

The long lead time for fleet

equipage of new capabilities

means standards and concept

development for these

advanced operations must

continue today.


This paper presents our recommendations to inform the

FAA’s NextGen development and implementation of

NextGen. A picture emerges of operations in 2020 in which

the core infrastructure and procedures for surveillance, data

communications, and navigation have changed. These

infrastructure and operational changes address the current

airport and Metroplex shortcomings through a combination

of the following:

Improved use of parallel and converging runways.

Enhanced surface operations coordination and flows.

Redesigned flows and flight path efficiency in and out of metro areas that are optimized through ATC

automation.

Better low-visibility operations to and from airports.

By 2020, NextGen will begin NAS-wide performance

management, with greater flexibility and collaboration

among aircraft operators on routing and delays. This

includes the use of data communications and PBN

procedures to better manage flights around weather and

congestion. The earliest types of UAS operations will be

able to participate routinely in the NAS. By integrating new

entrants and focusing on NAS-wide performance—after

meeting airport and Metroplex needs—the initial

transformation to NextGen can be fully in operation by

2025.

Recall that Figure 2, “Building a ‘Sustainable’ NAS,”

represents competing and complementary means to achieve

value to the community as a series of focus areas with the

rough time windows for operational use. Recommendations

describe what investments in the capabilities that make up

these focus areas are ready for action by the community. In

some cases preliminary steps to further mature a capability

have been recommended. Each of the recommendations was

then prioritized within its focus area. The approach to rank

the recommendations included the following considerations:

Value delivered in terms of legacy users’ benefits, new entrants served, or cost efficiency for the FAA:

– Is it aligned to a NAC Tier 1 Recommendation?

– Is it critical to enabling new NAS entrants?

– Will the investment help reduce future FAA costs?

Risk of ensuring the realized benefits will be achieved:

– Is the concept mature?

Achieving NextGen Operations for 2020 and Beyond

By 2020, most Metroplex

needs will be met. The remaining need is in NAS-

wide performance and

predictability.


Will 2020 user equipage be adequate to realize benefits?

– Is funding and scoping required to complete the capability?

Interdependencies of the recommendations and investments:

– Is additional investment required to deliver significant benefits?

– What is the potential impact following FAA rightsizing?

– Are there internal FAA bandwidth issues (people, system, infrastructure)?

Figure 4 represents the portfolio view of the

recommendations and associated key investments and

NextGen capabilities in priority order from highest to lowest.

We grouped similar priority-level recommendations to

enable prioritization across the six focus areas. The priority

comparison across the six focus areas is represented by the

numeric labels next to groups of investments.

Recommendations to defer implementation investments are

labeled with a “D.”

The key elements deferred in the recommendations represent

the future that would create a more flexible and scalable

operating environment, with greater dependence on aircraft

capabilities, knowledge of weather incorporated into

recommended solutions, and reliance on serving individual

aircraft according to their capabilities. The portfolio view

preserves through 2025 the foundational elements, targeted

needs of local problem sites, an end-to-end management of

NAS performance and the long lead items to create that

future.

Our independent assessment and resultant recommendations

are captured here as a vehicle for ongoing dialogue with the

FAA and external NextGen stakeholders on development

and implementation priorities for NextGen. We stand ready

to support efforts to consider these recommendations and

action plans for addressing them, where appropriate.


Figure 4: MITRE Recommendations for a Sustainable NAS

Deploy Transformational and Foundational Systems

A1: FANS-Based Data CommunicationsA3: Networked Voice Switch for Towers/TRACONS

A4: Surface/Tower electronic data exchange (agile)A5: TAMR (P3S2) at selected TRACONsA6: Secure information services A7: Aeronautical and Weather ServicesA2: ATN B2-Based Data Communications Standards

A2: ATN B2-Based Data Communications

A4: TFDM full acquisition

A8: Integrated Weather Avoidance in Automation

A7: Future Aeronautical Information Services (AIMM S3)

4

6

Maximize Operational Use of Available Aircraft and Ground Capabilities

B1: Metroplex Airspace Redesign Commitments B2: Multi-runway Operations

B6: National use policy for TBFM and CATMB5: ADS-B Out for spacing closer to separation

B7: Enroute Sector Enhancement for ADS-B & UASB3: Future Metroplex and single-site Airspace RedesignB4: Metering for Metroplex with PBN

1

7

5

Procedurally Enable New Entrants

C1: Rulemaking and procedural Changes for sUASC2: Integrated plan for commercial UAS operationsC3: Integrated plan for Space vehicles

2

Eliminate Surplus Capabilities and Services

D1: Terminal/Tower rightsizingD3: Decommissioning of navigation infrastructure D4: Eliminate legacy point-to-point communications

D2: Remote Tower operation